Trafford Safeguarding Board
Safeguarding enquiry outcome report
a)This enquiry form is to be completed within 20working days on receipt by the agency/ person that it is sent to.
b)The information provided is to be returned to the team it was sent from.
c)This team will review the response and agree if further enquiries are required.
d)The information will be monitored to ensure it captures the relevant data thatTrafford Council is required to collect and collate.
- Enquiry undertaken by Trafford MBC? Yes ☐ No ☐
- Enquiry instigated by the Trafford MBC? Yes☐ No ☐ - Trafford Council has received the following safeguarding concern in relation to your service or a service user related to your Organisation and require you(under s6 of the Care Act 2014) to undertake this Enquiry.
Please carry out an enquiry to ascertain:
- What happened - establish the facts
- Why did it happen
- What does the adult at risk or their agreed representative expect as an outcome
- What has been put in place to reduce the incident risk i.e. protection plan
- Has any actions been taken in relation to the person or organisation responsible for the abuse/or neglect
Service User Details
First Name: / Click here to enter text. / Surname: / Click here to enter text. / NHS
No: / Click here to enter text.
Address: / Click here to enter text.
Date of Birth: / Click here to enter text. / LASNo. / Click here to enter text. / Date Referral Received: / Click here to enter text.
Name and contact details of Lasting Power of Attorney ( if appropriate): / Name and contact details of carer / primary representative ( if appropriate):
Name: / Click here to enter text. / Name: / Click here to enter text. /
Address: / Click here to enter text. / Address: / Click here to enter text. /
Phone Number: / Click here to enter text. / Phone Number: / Click here to enter text. /
E mail: / Click here to enter text. / E mail: / Click here to enter text. /
Details of the concern stated on the referral. The enquiry into the allegation must include a response to the following points(to be completed by Team sending the form):
Concern to be discussed in the enquiry / Where and when it occurred / Service Users desired outcome / Referrer’s desired outcomes / Details of person or agency who is the cause for concern / Other relevant InformationClick here to enter text. / Click here to enter text. / Click here to enter text. / Click here to enter text. / Click here to enter text. / Click here to enter text. /
Click here to enter text. / Click here to enter text. / Click here to enter text. / Click here to enter text. / Click here to enter text. / Click here to enter text. /
Click here to enter text. / Click here to enter text. / Click here to enter text. / Click here to enter text. / Click here to enter text. / Click here to enter text. /
Click here to enter text. / Click here to enter text. / Click here to enter text. / Click here to enter text. / Click here to enter text. / Click here to enter text. /
Click here to enter text. / Click here to enter text. / Click here to enter text. / Click here to enter text. / Click here to enter text. / Click here to enter text. /
Does the person require independent support during the enquiry? To be completed by the team and/or the agency leading the enquiry( see guidance notes):
Does the person have the mental capacity to be involved in the Enquiry Yes ☐ No ☐
If No do they have a representative? Is a referral to the IMCA service needed? / If Yes, name and contact details and date of referral to the IMCA service: / Click here to enter text. /
If No, explain why a referral has not been made to the IMCA service: / Click here to enter text.
Does the person have substantial difficulty being fully involved in the Enquiry? Yes No
If Yes, do they have a representative? Is a referral to the Advocacy service needed? / If Yes, enter name and contact details and date referral made to the Advocacy service: / Click here to enter text. /
If NO, please explain why a referral has not been made to the Advocacy service: / Click here to enter text. /
Other to be included in the enquiry? Y/N e.g. an interpreter: ( persons details) / Click here to enter text. / Source of referral: / Click here to enter text. /
The Enquiry should be ceased at the person’s request if they have the mental capacity to make this decision and there is no vital / wider public’s interest. If this is the case, please explain below, and cease the enquiry:
Click here to enter text.
The following sections to be completed by the agency/person undertaking the enquiry
Concern to be discussed:1 Physical
2 Sexual
3 Psychological
4 Financial or Material
5 Discriminatory
6 Organisational
7 Neglect and acts of Omission
8 Domestic abuse
9 Sexual exploitation
10 Modern slavery
11 Self-neglect / Who discussion held with and date of discussion
Eg, service user, advocate, staff or other professional. / What were your findings /evidence
What happened?Why it happened? The outcome of your risk assessment. / Adults desired outcome at first point of contact.
Did this change in the enquiry
If so indicate why / Was the desired outcome for the adult achieved, partially achieved etc
Evidence how and why / Overall Conclusion
Evidence showed concern was Substantiated; unsubstantiated; partly substantiated; inconclusive
Enter here the type of abuse or risk of abuse / neglect e.g. financial abuse, neglect. etc. / Enter here discussion held with alleged victim or their advocate and /or staff member about the concern, including what the adult or their representative wants to happen e.g. I want to be able to feel safe in this environment. / Enter here your findings including what happened, how it happened, when it happened, where it happened and why it happened. Include the evidence you have gathered with regards to the identified abuse. / Enter here what the adult or their representative said they wanted to happen and indicate if this has changed and if so what the changes are and why. / Enter here what you have put in place to prevent it from happening again. State if your actions meet the outcome of the adult and if not, why not? / Enter here your overall conclusion, and the evidence / rationale for your conclusion.
3.Indicate the risk assessment outcome following your findings (Tick what option(s) apply from the pick-list below:
Risk assessment outcome: / ☐Risk identified / ☐No risk identified☐Risk assessment inconclusive / ☐Enquiry ceased at individual’s request
Comment on the risk assessment outcome: / Click here to enter text. /
4.Recommendations implemented to minimise the risk(s) re-occurring:
Concern raised / Recommendations / Date to review / By whomClick here to enter text. / Click here to enter text. / Click here to enter text. / Click here to enter text. /
Click here to enter text. / Click here to enter text. / Click here to enter text. / Click here to enter text. /
Click here to enter text. / Click here to enter text. / Click here to enter text. / Click here to enter text. /
5.Risk outcome upon conclusion of enquiry:
Riskoutcome: / ☐Risk remained☐Risk reduced
☐Risk removed
Comment on the risk outcome upon conclusion: / Click here to enter text. /
(Please note in order to quality assure the process Trafford Commissioning Team and or CQC may visit to ensure these recommendations have been implemented).
6 Provide any feedback from the adult and / or their representative e.g how they felt about the safeguarding enquiry)
As the person involved in this enquiry my feedback is as follows:Click here to enter text.
7. Provide any feedback from the agency undertaking the enquiry
As the agency undertaking this enquiry, my feedback is as follows, and includes Lessons Learned:Click here to enter text.
8. Record all Actions taken by the enquirer relating to the alleged victim and perpetrator
Alleged Victim / Alleged PerpetratorIncreased monitoring / Click here to enter text. / Criminal prosecution / Click here to enter text. /
Removed from property or service / Click here to enter text. / Police action / Click here to enter text. /
Care Act assessment and services / Click here to enter text. / Disciplinary action / Click here to enter text. /
Civil action / Click here to enter text. / Community care assessment, service / Click here to enter text. /
Court of Protection / Click here to enter text. / Management of access to alleged victim / Click here to enter text.
Change of appointeeship / Click here to enter text. / Referral to DBS / Click here to enter text. /
Management of access to finances / Click here to enter text. / Referral to professional body / Click here to enter text. /
Referral to advocacy scheme/IMCA / Click here to enter text. / Action by CQC / Click here to enter text. /
Referral for counselling / Click here to enter text. / Action by Health care Commission / Click here to enter text. /
Increase/different care package / Click here to enter text. / Continued monitoring / Click here to enter text. /
Action under Mental Health Act / Click here to enter text. / Counselling/training/treatment / Click here to enter text. /
Review of direct Payments/Support / Click here to enter text. / Referral to Court Mandated Treatment / Click here to enter text. /
Management of access to alleged perpetrator / Click here to enter text. / Action under Mental Health Act / Click here to enter text.
Declaratory relief(where a matterneedsclarifying by the courts) / Click here to enter text. / Review of care plan/risk assessment / Click here to enter text. /
Referral to complaints procedure / Click here to enter text. / Action by placing authority / Click here to enter text. /
Service user refused intervention / Click here to enter text. / Management action, supervision, training / Click here to enter text. /
Guardianship / Click here to enter text. / Carers assessment / Click here to enter text. /
Safeguarding Adults Review (SAR) / Click here to enter text. / Safeguarding Adults Review (SAR) / Click here to enter text. /
Action by placing authority / Click here to enter text. / No Further action / Click here to enter text. /
Review of care plan/risk assessment / Click here to enter text. / Contract of agency suspended / Click here to enter text. /
No Further action / Click here to enter text. / Click here to enter text. /
Other please specify / Click here to enter text. / Other please specify / Click here to enter text. /
9.Dates
Date form received from the Local Authority: / Click here to enter text. / Date enquiry started: / Click here to enter text.Date enquiry concluded: / Click here to enter text. / Date form returned to the Local Authority: / Click here to enter text. /
Enquiry completed by; Name and Role: / Click here to enter text. /
Managers Signature: / Click here to enter text. /
Organisation : / Click here to enter text. /
Time taken to complete this form (in minutes): / Click here to enter text. /
Guidance notes
These guidance notes are for the purposes of recording your enquiry only. The guidance here is not meant to replace the relevant sections in the safeguarding adults policy and procedure
The objectives of an enquiry into abuse or neglect are to:
- establish the facts
- ascertain the adult’s views and wishes
- assess the needs of the adult for protection, support and redress and how they might be met
- protect from the alleged abuse and/or neglect, in accordance with the wishes of the adult
- make decisions as to what follow up action should be taken with regard to the person or organisation responsible for the abuse and/or neglect; and
- enable the adult to achieve resolution and recovery.
Allegation
The first task when you are reviewing the information on the referral is to identify exactly what the safeguarding concerns are that you need to make enquiries about.
Break down the story into specific allegations and this will enable you to focus on what kind of abuse is actually being alleged and who is being alleged to have perpetrated the abuse. For example; if a service user has developed a pressure wound whilst in the care of a provider then the allegation may be, neglect in that the service provider failed to provide the necessary care to prevent a pressure wound developing. If a service user has been given the wrong medication then an allegation of physical abuse is indicated in that the service user was given a non prescribed medication.
Try and be clear that at this stage, you are identifying the allegation not the reason or motivation of the alleged perpetrator. For example; a carer may have verbally abused a service user. Their motivation may well be that they are stressed but that does not change the impact of harm on the service user. If the service user is harmed, or at risk of being harmed, then regardless of the motivation or reason for the action, it is abuse.
Making Safeguarding Personal (MSP)
MSP means the safeguarding enquiry should be person-centred and outcome-focused.It means having a conversation with the service user about how best to respond to their safeguarding situation in a way that enhances involvement, choice and control, as well as improving quality of life, wellbeing and safety.At the beginning of the safeguarding enquiry you must ascertain the service user’s views and wishes. What does the service user want to happen? Any access issues need to be addressed, including access to relevant interpreter support, to facilitate involvement.
Any conversations that relate directly to the service user or to decisions involving them must always include them or their representative or advocate. The service user must be kept involved throughout the enquiry unless it would increase the risk of abuse or neglect.
Independent advocate
At the beginning of an enquiry, the local authority has a duty to consider whether the adult requires an independent advocate to represent and support them in the enquiry.
An independent advocate should be provided to an adult who would have ‘substantial difficulty’ in doing one or more of the following:
- understanding relevant information
- retaining that information
- using or weighing that information as part of the process
- communicating their views, wishes or feelings; and
- there is nobody else that is appropriate and able to represent them.
An advocate should be considered even if the adult is befriended.
This should be kept under review as the enquiry progresses.
Who discussions are with:
You must record all of your discussions held with either or all of the following: the adult concerned, their representative and staff members where applicable including any other professionals. The aim of the discussions is to ascertain what happened and what the adult or their representative wants out of the enquiry. They could be phone calls; meetings, visits, professional’s report etc. Where you have collected or identified evidence you should record this in the following section, making reference to it in this section.
An example of this is as follows:
06/06/2015Discussion held with Mr Adams (the adult concerned) …..enter details of the discussion.
07/06/2015 Interviewed care worker ……enter details of the interview.
Findings/Evidence
These relate to the evidence you have gathered specifically with regard to the allegations that were identified at the outset of the enquiry and the service user’s desired outcomes. The findings will corroborate or refute the initial allegation(s). You should record anything you feel is significant to the enquiry in this section. This could be:
- direct evidence from the victim themselves, what they have experienced
- hearsay evidence or what a person has heard from another person
- circumstantial evidence, which may not be based on the facts in question but which supports the case, e.g. evidence of bruising immediately following a shift worked by a particular worker.
This section will contain all of the detail of your findings, in chronological order, of your discussions/ meetings.
These evidences may take the form of documents you have reviewed, care notes, interviews you have conducted, photographs of injuries, etc.
See summary of definition of Risk assessment outcomes below.
Classification / DefinitionRisk identified / Evidence is found of, or potential for, abuse or neglect which could possibly cause harm to the vulnerable adult
Risk assessment inconclusive / No direct evidence is found of, or potential for, abuse or neglect which could possibly cause harm to the vulnerable adult but there is uncertainty as to whether they are susceptible to abuse or neglect
No risk identified / No evidence is found of, or potential for, abuse or neglect which could possibly cause harm to the vulnerable adult (e.g. it may be that immediate action taken when a safeguarding concern is raised has mitigated the risk).
Enquiry ceased at individual’s request / This refers to cases where the individual at risk does not wish for an enquiry to proceed for whatever reason and so preclude a conclusion being reached.
Conclusion(s)
Your conclusion(s) will be directly informed by your findings. Each allegation must have a conclusion and you must state why you have come to the relevant conclusion. In order to do this you will need to analyse the evidence you have gathered, decide on its relative strength and consider whether it corroborates or refutes the initial allegations.
There should be one conclusion for the overall enquiry:
- Substantiatedwhere evidence indicates that the abuse occurred as alleged
- Unsubstantiated where evidence indicates that the abuse did not occur as alleged or there is no evidence to support the allegation.
- Not determined/inconclusive where it is not possible to record an outcome against any other category, where suspicions remain but there is no clear evidence
- Partially substantiatedwhere it has been possible to substantiate some but not all of the allegations (e.g. it was possible to substantiate an allegation of physical abuse but it was not possible to substantiate an allegation of financial abuse).
Risk Outcomes in concluding: